DFX Intelligence

C•••••••• C•••••• L••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

C•••••••• C•••••• L••••••

CRD 297836

LONDON

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Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 17
On other graphs: 0
Observed: Jul 17, 2018 to Jun 29, 2026
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderived••• Locked
Regulatory AUM: $685M••• Locked
Discretionary RAUM: $685M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• G•••••• C•••• E••••• F•••	Hedge Fund	$441M	Jun 29, 2026	408	Jul 17, 2018	reported	021-382945
C•••••••• G•••••• C•••• E••••• M••••• F•••	Hedge Fund	$432M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• C•••••• •••••••	Shareholder	E	yes	09/2011	Jul 17, 2018	Jun 24, 2024
D• P••••••• L••••• N••	HEAD OF CLIENT SERVICES (EXCO)	Na	yes	10/2020	Mar 12, 2021	Jun 24, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• C•••••• A••• L••••••	n/a	Asset manager	$685M	Y	yes	n/a
C•••••••• C•••••• ••••••• G•	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jun 24, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$685M	$1.3B	-48.6%	$2.9B	-37.9%	6	6	0	0

Relationships

Affiliated with (2)

→ C•••••••• C•••••• A••• L••••••Registered adviserother investment adviser, control, common control
factForm ADV
← C•••••••• C•••••• A••• L••••••Registered adviserother investment adviser, control, common control
factForm ADV

Advises (5)

→ C•••••••• G•••••• C•••• E••••• M••••• F•••Private fundHedge Fund, IA
Jul 17, 2018 to presentfactForm ADV
→

Dated events

Order

Occurred
29 Jun 2026
Ria private fund assets change
••• Locked
Form ADV
down $599M
Occurred
29 Jun 2026
Ria indirect owner change2 events
C•••••••• C•••••• L••••••: ria indirect owner change, 2 events, on 29 Jun 2026
- ••• Locked
- ••• Locked
Occurred
11 Jun 2025
Regulatory AUM changed
••• Locked
Form ADV
down $381M
Occurred
29 Jun 2023
Control person left
••• Locked
Form ADV
Occurred
17 Feb 2023
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 17, 2018
Last observed: Jun 29, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.